1. OVERVIEW
UNIVERSITY AT ALBANY

2. What is Project Sunlight?
An important component of the Public Integrity Reform Act of 2011 (Chapter 399 Part A, § 4 of the Laws of 2011)
An online database that provides the public with an opportunity to see what individuals and entities are interacting with New York State government.
Database maintained by state Office of General Services
Entries are limited to name of participants and companies – FOIL must be used to gather additional information

3. What is Covered by Project Sunlight?
For an interaction to be covered by Project Sunlight, it must
Be an appearance,
Be between covered individuals, and
Concern one of the five subject areas covered by Project Sunlight
Procurement – State purchases only
Rate making
Regulatory matters
Adoption or repeal of a rule or regulation
Judicial or quasi-judicial proceedings

4. What is an Appearance?
An appearance must be a substantive interaction that is meant to have an impact on the decision making process of the state.
The only appearances covered are:
In-person meetings
Phone calls and conference calls
Video chats and video meeting/conferences
Written communications such as letters, faxes, forms, and s are not considered appearances.

5. Appearances
There can be multiple appearances related to one matter. Each meeting is a separate appearance.
The location of a meeting is irrelevant; it can take place in a government office, at a vendor’s headquarters, or at a coffee shop.
Who initiated the interaction – whether it is the state entity or the outside individual or entity – is irrelevant.
The formality of the interaction is irrelevant; an informal conversation and a formal sales pitch can both be appearances.
Unsolicited appearances by vendors to attempt to influence a covered individual to purchase the vendor’s products, even if not associated with a specific procurement, must be reported.
Appearances related to revenue contracts need to be reported. Gifts, donations, or grants do not need to be reported.

6. Appearances Appearances that do not need to be reported:
Ministerial interactions – Example is scheduling a meeting
Appearances related to procurements under $25,000 (however, it is often hard to know what amount a contract will end up being worth before the contract is bid, so err on the side of caution and report).
Interactions where the state entity is only reporting facts or information
Meetings which are open to the public - as conferences or meetings under the Open Meetings Law - or where a record of the meeting is otherwise available However, communications outside that meeting may be covered.
Appearances related to legislation and the NYS budget
Confidentiality requirements imposed by federal or state statute, rule or regulation always take precedence over the requirements of Project Sunlight.

7. SUNY Specific Exemptions
• Appearances related to proposed, emergency or final rulemaking relating to the formula for state financial operating assistance to community colleges which involves completing a ministerial calculation of aid per estimated full time equivalent student.
• Employee and student disciplinary hearings.
• Appearances by vendors before health care practitioners across the SUNY system.
• Appearances by students regarding changes in tuition, fees, and charged.
• Interactions at widely-attended vendor conferences.

8. Who/What is a “Covered Individual”?
At state agency
An individual with the power to exercise agency discretion in one of the five covered categories or advises someone who has that discretion
A temporary worker or independent contractor who has discretion in one of the five covered categories
Agents of a state agency or authority, such as retained counsel, are not covered
Outside the state entity
Appearances by both “outside” (a lobbyist) and “inside” (general counsel) representatives of an entity must be reported
Appearances by an individual appearing on behalf of him/herself must also be reported

9. Decision Makers Include
Presidents
Vice Presidents
Athletics Director
Chief Information Officer
Facilities Director
Deans
Associate Deans
Department Directors
Anyone on campus with control over a budget where they are the decision maker on procuring goods or services 

10. Entities and Individuals that are Excluded from Reporting
The following entities are categorically excluded from the reporting requirement:
Appearances by other state and local agencies and authorities, tribal governments and federal government representatives.
Appearances by NYS elected officials, executive or legislative employees, or judges or employees of the judiciary.
Representatives of the media.
Persons under the age of 18.

11. Procurement under Project Sunlight
Appearances that are for the purpose of procuring a state contract, whether or not a specific procurement is anticipated, must be recorded.
Sales pitches/cold calls are appearances if before a decision maker.
Appearances that occur during a Restricted Period under the Procurement Lobbying Act and are part of the Procurement Record, need not be recorded.
Example - bid clarification meetings or bid interviews
BUT, these are governed by the Procurement Lobbying Act rules.
Appearances following an award of a state contract do not need to be reported so long as the appearance is related to that specific contract.
Appearances that are at the request of a state entity that are purely informational, such as market research or requests for other information, are generally not appearances that need to be recorded.
However, if during this appearance the vendor begins to advocate its product and/or the possibility of a state contract, that appearance needs to be recorded.

12. What Needs to be Reported into the OGS Database
Date of Appearance (month, day, year)
Type of Meeting:
In-Person 
Video Conference
Location of Appearance: Building, Street, City, State, Zip 
Purpose of Meeting: (one of the 5 categories listed in the law)
Procuring, Rate making, Regulatory Matters, Judicial, Adoption of a Rule
Name of SUNY Contact and Affiliation:
Name of Company at Appearance
Company Location: City, Zip Only (If large company, location that rep. works out of)
Outside Representative at Appearance: (e.g., Company’s Attorney, Lobbyist)
Outside Representative’s Location: City, Zip Only (If large company, location that representative works out of)
Name of Non-SUNY Contacts

13. What’s Been Done / Next Steps
All Purchasing and Finance and Administration appearances have been or will be recorded.
Need to develop standards for reporting (who has to report, etc.)
Need to notify, inform and educate campus community about Project Sunlight
Need to gather and record recent appearances from other campus offices
It is up to campus to discipline employees who do not properly report – need to develop progressive disciplinary standards – becomes part of duties
All reportable appearances will be sent to Office of Internal Controls which will enter the information in Project Sunlight database
Links:
Questions?